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Introduction to Introduction to Research @ WSUResearch @ WSU
www.research.wayne.eduwww.research.wayne.edu
Dr. Hilary H. Ratner, Vice President for Research
Sarah James, Research Support Liaison
James Barbret, Associate VP for Sponsored Program Administration & Assistant Vice President for Finance
August 26, 2008
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OverviewOverviewDr. Hilary H. Ratner, Vice President for Research Organization and WSU Profile Faculty roles Funding opportunities Divisions of Research (minus SPA)
Sarah James, Research Support Liaison OVPR Products and Services for New Faculty
◦ Internal Funding Programs◦ Workshops & Trainings◦ Other Resources & Support
James Barbret, Associate VP for SPA & Assistant VP for Finance Sponsored Program Administration
◦ Pre-Award◦ Post-Award
Folder Review
Questions
Research Warrior Jeopardy!
Break-Out Sessions Setting Up a Lab: Purchasing & Facilities Interdisciplinary Research & Mentoring
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Division of ResearchDivision of Research
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Office of the Vice President Office of the Vice President for Research (OVPR)for Research (OVPR)
Leadership in achieving the University’s research mission
Oversight and direction of the university’s research standings, reputation, and portfolio in partnership with academic units
Facilitation and stimulation of research Research administration Establishment and implementation of research policies and
procedures Commercialization of faculty discoveries and inventions Compliance with federal, state, and local regulations governing
research activities
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WSU ProfileWSU ProfileNSF ranks WSU 50th
◦ Research expenditures ◦ Public universities
Urban teaching, service and research mission◦ Transformed from city college to internationally
recognized institution◦ Center of intellectual vitality in city and region◦ Embedded in life of community
Diversity and urban issues Contribute to health and well being of region Economic development
See ncareport.wayne.edu
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NSF Research Expenditure DollarsNSF Research Expenditure Dollars
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WSU Major Research SponsorsWSU Major Research Sponsors
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Major Major FederalFederal Research Sponsors Research Sponsors
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Who we are in OVPRWho we are in OVPR
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OVPR is here to help you! OVPR is here to help you!
Director, Research Collaborations Nancy Christ
Director, Inter-institutional InitiativesFreda Giblin
Director, Communications OfficeJulie O’Connor
Research Support LiaisonSarah James
Assistants to the Vice PresidentShay Izzard & Joann Yucha
See folder for contact information
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Communications OfficeCommunications OfficeObjectives
◦ Promotes WSU’s research enterprise Significance, Solutions, Impact
Better quality of life Discoveries, products, services, methods Economic development
Student learning & training“Let Us Make You Famous” flyer
◦ Press releases◦ Media advisories◦ Web presence◦ Research@wayne◦ New Science
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Research Advisory GroupsResearch Advisory Groups
Research Committee
of the Academic
Senate
Efficiency & Processing
Improvement Committee
(EPIC)
Computer Research
Working Group(CRWG)
Research Deans and Directors
OVPR
Faculty Research Advisory
Committee (FRAC)
College of Engineerin
g
College of Liberal Arts &
Sciences
School of Medicine
Other School/College Research Advisory
Groups
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University Research CorridorUniversity Research Corridor Alliance
◦ Michigan State University
◦ University of Michigan
◦ Wayne State University
Profile◦ Complete graduate and undergraduate education, as well as
professional degrees in medicine, business and the law
◦ Conduct more than $1.3 billion in research per year
◦ 95% of the academic R&D conducted in Michigan
◦ Produce hundreds of patents each year
Objective◦ Leverage the intellectual capital of the three public research universities
to transform, strengthen and diversify Michigan’s economy
Recent accomplishment◦ Nearly $1 million investment in alternative energy projects
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Faculty RolesFaculty RolesScholar
◦Evaluation◦Promotion and Tenure
School/College/Department Guidelines Network with colleagues Find a mentor Ask colleagues for CVs
Teacher◦Classroom◦Laboratory, Field
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Faculty Roles continuedFaculty Roles continued
Merging roles◦ Engage graduate and undergraduate
students early in scholarship Provides better understanding of and training in
rapidly emerging areas Teaches scientific, ethical and global concerns Retention and degree completion
◦ Feedback, evaluation, engagement, consider student needs
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NIH Pathways to Independence NIH Pathways to Independence The NIH Pathways to Independence Program employs multiple strategies to facilitate receiving an R01 award earlier in an investigator’s research career. These involve: Pathway to Independence Award NIH Director's New Innovator Award NRSA Individual and Institutional Training Awards Career Development Awards - K Kiosk Research Project Grant Program - (R01) NIH Institute and Center Practices Resources for New Investigators Go to http://grants.nih.gov/grants/new_investigators/index.htm for information
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NSF CAREER AwardNSF CAREER AwardEarly Career Development ProgramFoundation-wide activity that supports junior faculty
◦ Exemplify teacher-scholar role Outstanding research, Excellent education Integration of education and research within the context of
institutional mission
Foundation for a lifetime of leadership Especially encourages women, members of
underrepresented minority groups, and persons with disabilities to apply
For more information, go to: http://www.nsf.gov/funding
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NIH/NSF Research Teams NIH/NSF Research Teams
Mathematicians
Mathematicians
Psychologists
Psychologists
Physicists
Physicists
NursesNurses
Economists
Economists
Engineers
Engineers
Dentists
Dentists
Sociologists
Sociologists
Physicians
Physicians
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WSU Interdisciplinary WSU Interdisciplinary Research InitiativesResearch Initiatives http://research.wayne.edu/idre/http://research.wayne.edu/idre/NIH Clinical and Translational Science Award (CTSA)
Planning Grant◦ Move research more quickly from bench to bedside◦ Create an academic home for clinical and translational science◦ Train the next generation of clinical and translational scientists
CTSA application submitted June, 2008◦ DRICTR◦ Urban health◦ Involves faculty from all schools and colleges
OVPR helps establish collaborative groups and assists faculty in finding research funding
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Research ComplianceResearch Compliance
“An ounce of prevention is worth a pound of
cure.”Henry de Bracton, 1240
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Research Compliance AreasResearch Compliance Areas
Human Investigation Committee (HIC)Animal Investigation Committee (AIC)Scientific Misconduct
◦ Fabrication, falsification, plagiarism, or other practices that seriously deviate from commonly accepted practices
Conflict of InterestEnvironmental Health and SafetyExport Control Regulations
◦ Federal regulations limit transfer of certain information, technology, goods or services to certain foreign nationals in U.S. or abroad
◦ Severe criminal and civil sanctions for violations
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HIC & AICHIC & AIC
WSU is committed to full compliance with federal, state and local regulations that apply to the ethical conduct of research
Whether human or animal subjects are involved, researchers, including students, must obtain written approval from the HIC or AIC before beginning their projects
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Consequences of Failure to Comply Consequences of Failure to Comply with HIC or AIC Policieswith HIC or AIC Policies
Termination of your projectTermination or suspension of your ability
to perform research at WSUInability to use your dataProbation for the institutionClosure of all human or animal research
projects in the entire university and its affiliates
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On-line TrainingOn-line Training
Completion of HIC and/or AIC online training program is mandatory for all investigators and key personnel listed on the protocol summary form◦www.hic.wayne.edu or www.aic.wayne.edu
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Technology Commercialization Technology Commercialization
Technology transfer ◦ Identify, protect, market and license
intellectual property developed by faculty Patents, unique biological/other materials, and
copyrights
Venture Development◦Help launch technology businesses
Liaison between industry and academia
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OVPR Products & ServicesOVPR Products & Services for New Faculty for New Faculty
Sarah James, Research Support Liaison
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Research Mentors Program for New FacultyGraduate Research Assistantship CompetitionPre-submission Review (scientific review by expert in
field)Research Enhancement Program (REP) in ArtsREP in Humanities & Social Sciences
See “OVPR Internal Funding Programs” in folder for more information.
Internal Funding ProgramsInternal Funding Programs
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Trainings & WorkshopsTrainings & Workshops
Professional and Academic Development (PAD) Seminar Series ◦ offered jointly by OVPR, Provost’s Office and Graduate
School
Nano@Wayne Seminar SeriesBio 101 Seminar SeriesGrant-writing seminars
See “Seminars” packet in folder for more information.
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Other Resources & SupportOther Resources & Support
Proquest COSResearch@WayneInternal Research Support
BookletOffice of Corporate & Foundation
RelationsLibrary SystemsAssociate Research Deans
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Working with Sponsored Working with Sponsored Program AdministrationProgram Administration
James Barbret, Associate VP for Sponsored Program Administration & Assistant Vice President for Finance
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Who is Sponsored Program Who is Sponsored Program Administration (SPA)?Administration (SPA)?
• SPA is the institutional office responsible for administrative oversight of WSU’s externally sponsored research
• SPA combines the administrative and accounting functions in a single office
• SPA reports primarily to the Office of the Vice President for Research, but also reports to the Vice President for Finance to retain financial oversight
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Sponsored Programs Sponsored Programs Administration OrganizationAdministration Organization• SPA is divided in to two operating divisions – Pre and
Post Award• Both units are led by a Director supported by a
number of professional and administrative staff• Both groups are assigned a number of WSU units to
provide support• These units play a role throughout the lifecycle of the
project that includes:– Proposal preparation and submission– Award acceptance and management– Oversight throughout the execution of the project
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Pre Award ActivitiesPre Award Activities• Grant and Contract Officers are the primary contact
for faculty members in preparing and submitting proposals.
• Grant and Contact Officers handle the award negotiation and acceptance.
• Grant and Contract officers may engage the services of the Office of General Counsel.
• Provide training of WSU staff in management requirements
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Key Pre Award ConceptsKey Pre Award Concepts
All proposals to any governmental units to fund any and all activities, not only research, need to be processed through SPA
SPA and WSU’s Development Office coordinate submission to private entities, i.e. foundations, corporations, etc
SPA is the Authorized Official for submissions, as well as the Business Officer
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Who and When do I contact SPA ?Who and When do I contact SPA ?
Who? Grant and Contract officers are assigned by College They change rarely so you be able to connect with
them Our website has the latest assignments
When? As soon as possible - when you are anticipating
submitting a proposal to an outside agency
Help you through some of the pitfalls of proposal development
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Some of the “trouble areas”Some of the “trouble areas”
Pre-proposals and letters of intent: Okay to be sent w/o processing through SPA if no
commitments are made Not okay if requires institution’s signature Not okay if WSU is restricted or limited submissions
Subcontractors: If you are using a subcontractor, we need a
“proposal” from them with authorization
If you are the subcontractor, process a proposal through SPA, treating the source (where WSU gets its funds) as your agency
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Who and When do I contact SPA ?Who and When do I contact SPA ?Who?
Post Award Administrators are assigned by College and department
They change rarely so you be able to connect with them
Our website has the latest assignmentsWhen?
Any formal request correspondence to the sponsor normally requires an institutional endorsement or signature – that is a SPA person
Help you through some of the pitfalls of project execution and costing questions
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Post Award ActivitiesPost Award Activities• The Post Award Administrators Officers are the
primary contact for faculty and administrators in questions regarding the conduct of their programs.
• The Post Award Administrators review the award agreement for “restrictive” terms and conditions
• The Accounting Support group establishes accounts in the University financial system, enters the award budget
• The Accounting Support group generates all necessary accounting entries
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Key Post Award ConceptsKey Post Award Concepts
Two areas of concentration: ◦ Financial◦ Programmatic
Investigators, departmental staff and SPA share these responsibility
Financial: Are we executing the work and charging/utilizing the funds within the guidelines and principles?
Programmatic: Are we accomplishing the work as proposed?
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Some of the “trouble Some of the “trouble areas”areas”
Financial Cost PrinciplesFinancial Cost PrinciplesREASONABLE: A prudent business person would
have purchased this item and paid this price.ALLOCABLE: It can be assigned to the activity on
some reasonable basis.CONSISTENTLY TREATED: Like costs must be
treated the same in like circumstances, as either direct or F&A costs.
If a cost cannot meet the above criteria, it is unallowable, no matter what it is for.
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Changes during the ProjectChanges during the Project
What constitutes a change?◦Re-budgeting funds◦Change in scope or aims◦Absence of PI/Key Personnel◦No cost time extension
Contact SPA – Can we document internally or do we need to request sponsor approval?
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Two MythsTwo Myths
“My Program Officer said it was okay…..”◦ In most cases, the Program Officer has no authority◦ They are likely to give opinions, not approvals◦ Costing issues are unique to each campus and are
based on institutional policies◦ There is still a need for documentation
“The Sponsor cares about the science, not the costs …”◦ Expanded authorities gave us the authority, did not
eliminate the rules◦ Modular budgets are still bound by the costs guidelines
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The Results of Non Compliance:The Results of Non Compliance: Significant Audits/Settlements Significant Audits/Settlements
Public Demandfor
Improved Control
Johns Hopkins Univ Effort Certification
$2.7 million
University of MinnesotaMisuse federal funds
$32 million
New York University Medical Center
Inflated research grant costs$15.5 million
Mayo FoundationMischarging federal
grants $6.5 million
Harvard/BIDMCCosting Issues Self-Reported
$3.25 millionNorthwestern UniversityCommitted Time/Effort
$5 million
Univ Alabama/BirminghamEffort Certification & Clinical Research Billing $3.4 million
East Carolina Univ Questioned Costs HHS/OIG Audit
$2.4 million
Univ of Southern California Questioned Costs
HHS/OIG Audit $400,000
Florida International UnivEffort Certification & Direct Costs
$11.5 million
Univ California/San FranciscoAnimal Care Allegations
$92,500 fine
Cornell Medical Clinical Research Issues
$4.4 million